2007
A CITIZEN'S MANUAL ON REPORTORIAL REQUIREMENTS
(PAMPHLET * NO. 4)
12 VII 2007
Reportorial Requirements of Corporations Registered with the SEC
1. What laws govern the submission of reports to the SEC?
• Securities Regulation Code (R.A. 8799/SRC)
• Corporation Code of the Philippines
• Investment Houses Law (P.D. 129)
2. Who should file reports with the SEC?
• Registered stock corporations (Including foreign corporations e.g., branch offices, representative offices, regional headquarters or regional operating headquarters)
• Registered non-stock corporations (Foundations, associations, non-government organizations, religious organizations, corporation sole, etc.)
• Corporations granted secondary licenses e.g., broker or dealer in securities, government securities eligible dealer (GSED), investment adviser of an investment company, close-end or open-end investment company, investment house, transfer agent, commodity or financial futures exchange/broker merchant, financing company, pre-need plan issuer, general agent in pre-need plans and time shares/club shares/membership certificates issuers or selling agents thereof AcEIHC
• Other entities required by the SEC to submit reports on a regular or special basis
3. What reports should registered corporations file with the SEC?
The reports to be submitted by all registered stock and non-stock corporations are listed...
